Investment Operations Associate

Overview

A wealth management practice based in Norwalk CT is looking to hire an Investment Operations Associate. The right candidate should have strong attention to detail, be process driven and have a desire to learn the financial planning business. In addition to having strong operations and back-office skills, the right candidate must have excellent communication skills for communicating with clients of the firm.

This role is hybrid and must be able to commute to Norwalk CT a few times per week.

• Provide great service and first impressions with clients during client onboarding
• Manage investment account opening and initial deployment process
• Prepare and process all paperwork needed for investment/advisory accounts
• Coordinate and execute 401(k) rollover calls with clients and plan administrators
• Monitor and trading account: placing trades, rebalancing existing accounts, change beneficiaries, distribution assistance, RMD management, tax loss harvesting, etc.
• Assist clients with investment account related questions
• Assist with client review schedule, maintaining notes in Envestnet and CRM and mailing annual review letters to clients
• Ensuring compliance requirements are implemented and followed
• Processing proposal amendments in Envestnet
• Accepting redemptions/withdrawals from clients and communicating instructions to home office
• Maintaining daily tickler system for account follow-ups and service requirements
• Running performance reports in Envestnet and NMCIR

• Has 3+ years investment industry experience
• Series 7 and Series 66
• Highly detail oriented and procedural, excellent organizational skills with ability to multitask, set priorities and meet deadlines
• Trading experience, ability to process personal securities transactions
• Excellent oral and written communication skills
• Experience in administrative support or customer service, preferably in the financial services and/or insurance industry
• Ability to work in a fast-paced environment, both independently and on a team
• Ability to maintain confidentiality
• Strong critical thinking, financial analysis and problem-solving skills required
• Ability to manage multiple diverse projects and assignments in a timely and quality manner
• Demonstrated ability to maintain effective working relationships with clients
• Willingness to learn
• Bachelor’s Degree
• Familiarity with Microsoft applications and data entry and information retrieval software
• Preferences:
  
  Experience with NetX
  360 and Envestnet

Salary Range 65k-95k